REGINA KAY LOCKE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REGINA KAY LOCKE (CRD No. 2324166), Respondent. Disciplinary Proceeding No. 20070094247 Hearing Officer-AWH DEFAULT DECISION July 29, 2008 Respondent is barred from associating with any FINRA member in any capacity for conversion of customer funds, in violation of NASD Rules 2330(a) and 2110, and altering and submitting
03/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. REGINA KAY LOCKE (CRD NO. 2324166), RESPONDENT. DISCIPLINARY PROCEEDING NO. 20070094247 COMPLAINT The Department of Enforcement ("Enforcement") alleges: RESPONDENT AND JURISDICTION 1.Regina Kay Locke ("Locke" or the "Respondent") became associated with FINRA member RBC Dain Rauscher Inc.
Reference 2007009424701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2324166

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